Complete Broker Dealer and FINOP Consulting Services

    We can provide your Brokerage with reliable advice and experienced services to help you meet regulatory
    requirements without hassle and stress. Bringing in a Broker Dealer expert consultant not only ensures that
    work is done properly but also that it is done in a time efficient manner, ensuring that your Brokerage staff is
    left to focus on their work. Our services include:

  • Broker Dealer Compliance Consulting
  • Broker Dealer/RIA Setup
  • Virtual Principal/FINOP
  • Broker Dealer Expert Witness

    Total Broker Dealer Compliance Consulting

    We provide you with expert, experienced compliance services including:
  • Broker Dealer Auditing for FINRA, NYSE, or SEC
  • Updating Brokerage Procedures or Compliance Manuals
  • Filing Broker Dealer ATS, ADV, or BD forms
  • Address all required Internet and Email issues
  • More information on our Broker Dealer Compliance consultants

    Broker Dealer/RIA Setup

    We provide complete FINRA and RIA application services for Broker Dealers including:
  • Manage or review the process of FINRA membership application for Broker Dealers
  • Manage or review registering your Brokerage with the SEC as a B/D or RIA
  • Broker Dealer Membership agreement update services in compliance with FINRA NTM 99-67 and
    Rule 1017
  • Assist with your Brokerage required Business Continuity Plan, Rule 3010, 3012, 3013 CEO
    Certification Compliance
  • Assist with all Broker Dealer AML procedures and outside Audit

    Virtual Principal/FINOP

    Our FINOP experts can provide you with fast responses to your questions and support on your Financial
    Operational Principal issues. Turn to us when your Brokerage needs solid, experienced FINOP advice or
    another professional opinion.

    Our FINOPS can provide you with total services including financing and compliance support. Learn more
    about our FINOP


    Broker Dealer Expert Witness
    Our professionals have worked with Broker Dealers and attorneys at all levels of arbitration and can help you
    and your attorney prepare and ensure that your position is fully and appropriately represented. Our staff will
    help in evaluation, preparation, and execution of your case. We will provide you with an experienced
    professional in the field you need or we will help you find one.

      Learn more about our broker dealer expert witnesses...  
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Financial Advisory Services, LLC   

Based in the Southeast, Serving the Entire USA
404-532-9750